Harris Joshua's Form 4 filing
Apollo Global Management, Inc.APO · filed May 24, 2023
- Accession no.
- 0000950103-23-007806
- Filed
- May 24, 2023, 9:29 PM ET
- Trade date
- Dec 28, 2022-May 23, 2023
- Filing delay
- 147 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 6 non-derivative transactions. Open-market sales total $22.5M. It was filed 147 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Harris JoshuaCIK 0001106636 | Other: See Remarks |
| MJH Partners II LLCCIK 0001903210 | Other: See Remarks |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 28, 2022 | Common Stock | GGiftDisposed | −210,000 | $0.00F1 | $0 | 1,140,007 | Direct | |
| Dec 28, 2022 | Common Stock | GGiftDisposed | −95,000 | $0.00F2 | $0 | 1,045,007 | Direct | |
| May 22, 2023 | Common Stock | SSaleDisposed | −121,619 | $64.80F3,F7 | −$7,880,911.2 | 34,677,772 | Indirect | |
| May 22, 2023 | Common Stock | SSaleDisposed | −189,828 | $65.88F4,F7 | −$12,505,868.64 | 34,487,944 | Indirect | |
| May 22, 2023 | Common Stock | SSaleDisposed | −21,092 | $66.20F5,F7 | −$1,396,290.4 | 34,466,852 | Indirect | |
| May 23, 2023 | Common Stock | SSaleDisposed | −10,902 | $66.08F6,F7 | −$720,404.16 | 34,455,950 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Reflects the exempt gift of shares to a donor advised fund.
Referenced by the price of 1 transaction in Table I.
- F2
Reflects the exempt gift of shares to a charitable foundation.
Referenced by the price of 1 transaction in Table I.
- F3
Reflects the sale of shares of common stock of the Issuer, par value $0.00001 per share ("Common Stock"), by MJH Partners II LLC ("MJHP II") on May 22, 2023. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $64.15 to $65.13.
Referenced by the price of 1 transaction in Table I.
- F4
Reflects the sale of shares of Common Stock by MJHP II on May 22, 2023. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $65.17 to $66.16.
Referenced by the price of 1 transaction in Table I.
- F5
Reflects the sale of shares of Common Stock by MJHP II on May 22, 2023. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $66.17 to $66.29.
Referenced by the price of 1 transaction in Table I.
- F6
Reflects the sale of shares of Common Stock by MJHP II on May 23, 2023. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $66.00 to $66.28.
Referenced by the price of 1 transaction in Table I.
- F7
The Reporting Persons undertake to provide to the Issuer, any security holders of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the applicable price range.
Referenced by the price of 4 transactions in Table I.
Remarks
Each of the Reporting Persons may be deemed to be a member of a "group" for the purposes of the Securities Exchange Act of 1934 by virtue of being a party to the Apollo Global Management, Inc. Stockholders Agreement. The Reporting Persons disclaim beneficial ownership of any securities deemed to be owned by the group that are not directly owned by the applicable Reporting Person. This report shall not be deemed an admission that the Reporting Persons are a member of a group or the beneficial owner of any securities not directly owned by the applicable Reporting Person. Each of the Reporting Persons disclaims beneficial ownership of the securities except to the extent of his or its pecuniary interest therein.